FINANCIAL ASSISTANCE FUNDING OPPORTUNITY ANNOUNCEMENT U.S. Department of Energy Golden Field Office IN PARTNERSHIP WITH U.S. DEPARTMENT OF AGRICULTURE Biomass Research And Development Initiative Funding Opportunity Number: DE-PS36-06GO96002 Announcement Type: Initial CFDA Number: 81.087 Renewable Energy Research and Development Issue Date: 10/31/2005 Letter of Intent Due Date: 11/22/2005 Pre-Application Due Date: 12/20/2005 at 8:00 PM Eastern Time Application Due Date: 03/22/2005 at 8:00 PM Eastern Time.
NOTE: NEW REQUIREMENTS FOR GRANTS.GOV Where to Submit Applications must be submitted through Grants.gov to be considered for award. Registration Requirements There are several one-time actions you must complete in order to submit an application through Grants.gov (e.g., obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) number, register with the Central Contract Registry (CCR), register with the credential provider, and register with Grants.gov). See http://www.grants.gov/getstarted. Use the Grants.gov Organization Registration Checklist at http://www.grants.gov/assets/organizationregcheck.doc to guide you through the process. Designating an E-Business Point of Contact (EBiz POC) and obtaining a special password called an MPIN are important steps in the CCR registration process. Applicants, who are not registered with CCR and Grants.gov, should allow at least 14 days to complete these requirements. It is suggested that the process be started as soon as possible. Questions Questions relating to the registration process, system requirements, how an application form works, or the submittal process must be directed to Grants.gov at 1-800-518-4726 or support@grants.gov. Part VII of this announcement explains how to submit other questions to the Department of Energy (DOE). Application Receipt Notices After an application is submitted, the Authorized Organization Representative (AOR) will receive a series of four e-mails. It is extremely important that the AOR watch for and save each of the emails. It may take up to two (2) business days from application submission to receipt of email Number 2. You will know that your application has reached DOE when the AOR receives email Number 4. You will need the Submission Receipt Number (email Number 1) to track a submission. The titles of the four e-mails are: Number 1 - Grants.gov Submission Receipt Number Number 2 - Grants.gov Submission Validation Receipt for Application Number Number 3 - Grants.gov Grantor Agency Retrieval Receipt for Application Number Number 4 - Grants.gov Agency Tracking Number Assignment for Application Number VERY IMPORTANT Download PureEdge Viewer In order to download the application package, you will need to install PureEdge Viewer. This small, free program will allow you to access, complete, and submit applications electronically and securely. For a free version of the software, visit the following web site: http://www.grants.gov/downloadviewer. 2
TABLE OF CONTENTS PART I FUNDING OPPORTUNITY DESCRIPTION... 5 PART II AWARD INFORMATION... 8 A. TYPE OF AWARD INSTRUMENT... 8 B. ESTIMATED FUNDING... 8 C. MAXIMUM AND MINIMUM AWARD SIZE... 8 D. EXPECTED NUMBER OF AWARDS... 8 E. ANTICIPATED AWARD SIZE... 8 F. PERIOD OF PERFORMANCE.... 8 G. TYPE OF APPLICATION.... 8 PART III - ELIGIBILITY INFORMATION... 9 A. ELIGIBLE APPLICANTS.... 9 B. COST SHARING... 9 C. OTHER ELIGIBILITY REQUIREMENTS.... 9 PART IV APPLICATION AND SUBMISSION INFORMATION... 11 A. ADDRESS TO REQUEST APPLICATION PACKAGE.... 11 B. LETTER OF INTENT AND PRE-APPLICATION.... 11 C. CONTENT AND FORM OF FULL APPLICATION SF 424... 13 D. SUBMISSIONS FROM SUCCESSFUL APPLICANTS... 18 E. SUBMISSION DATES AND TIMES.... 19 F. INTERGOVERNMENTAL REVIEW... 19 G. FUNDING RESTRICTIONS... 19 H. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS... 19 PART V - APPLICATION REVIEW INFORMATION... 21 A. CRITERIA... 21 B. REVIEW AND SELECTION PROCESS.... 24 C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES.... 24 3
PART VI - AWARD ADMINISTRATION INFORMATION... 25 A. AWARD NOTICES.... 25 B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS.... 25 C. REPORTING.... 26 PART VII - QUESTIONS/AGENCY CONTACTS... 27 A. QUESTIONS... 27 B. AGENCY CONTACT... 27 PART VIII - OTHER INFORMATION... 28 A. MODIFICATIONS.... 28 B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE.... 28 C. COMMITMENT OF PUBLIC FUNDS.... 28 D. PROPRIETARY APPLICATION INFORMATION.... 28 E. EVALUATION AND ADMINISTRATION BY NON-FEDERAL PERSONNEL.... 28 F. INTELLECTUAL PROPERTY DEVELOPED UNDER THIS PROGRAM.... 29 G. NOTICE OF RIGHT TO REQUEST PATENT WAIVER.... 29 H. NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES.... 29 APPENDIX A DEFINITIONS... 31 APPENDIX B GRANTS.GOV... 35 APPENDIX C DETAILED DESCRIPTIONS OF TECHNICAL AREAS... 37 4
PART I FUNDING OPPORTUNITY DESCRIPTION The U.S. Department of Energy (DOE) and the U.S. Department of Agriculture (USDA) jointly solicit applications for financial assistance addressing research and development of biomass based products, bioenergy, biofuels and related processes. This funding opportunity announcment, herein referred to as the Announcement, is intended to promote greater innovation and development related to biomass, and to support the Biomass Research Development Act of 2000, the Healthy Forest Restoration Act of 2003, the Energy Policy Act of 2005, and Federal policy calling for greater use of biomass-based products, feedstock production, and processing and conversion. This joint USDA/DOE announcement for FY06 reflects the technical areas identified in the Biomass Research and Development Act of 2000 as amended by The Energy Policy Act of 2005. These technical areas will assist DOE and USDA in developing and maintaining a balanced portfolio of activities under the Federal Government s Biomass program to effectively advance cost effective utilization of biomass for the production of biobased fuels and products. 1. Legislative Authority. Collaboration between DOE and USDA on a Biomass Research and Development Initiative is directed under various statutory authorities, primarily the Biomass Research and Development Act of 2000, and as amended by Title IX of the Farm Security and Rural Investment Act of 2002 (P.L. 107-171) and Title II of the Healthy Forest Restoration Act of 2003 (P.L. 108-148) as well as Titles XX through XXII of the Energy Policy Act of 1992 (P.L. 102-486) and the Energy policy Act of 2005 (P.L. 109-58; Section 941). 2. General Information The Energy Policy Act of 2005 sets forth the following objectives and purposes for the Biomass Research and Development Initiative underwhich this solicitation is issued. OBJECTIVES. The objectives of the Initiative are to develop (1) technologies and processes necessary for abundant commercial production of biobased fuels at prices competitive with fossil fuels; (2) high-value biobased products (A) to enhance the economic viability of biobased fuels and power; and (B) as substitutes for petroleum-based feedstocks and products; and (3) a diversity of sustainable domestic sources of biomass for conversion to biobased fuels and biobased products. PURPOSES. The purposes of the Initiative are (1) to increase the energy security of the United States; (2) to create jobs and enhance the economic development of the rural economy; (3) to enhance the environment and public health; and (4) to diversify markets for raw agricultural and forestry products. DOE and USDA are, therefore, seeking applications to address the Technical Areas as set out in Section 307(d)(1) (4) of the Biomass R&D Act of 2000 as ammended by The Energy Policy Act of 2005. The Technical Areas are discussed in greater detail in Appendix C. The Technical Areas defined in The Energy Policy Act of 2005, and listed here, are the only eligible topic 5
areas under this Announcement. Each individual application must address only one Technical Area. However, an applicant may submit multiple, unique applications in order to respond to multiple topics or may submit multiple unique applications to a single topic area. The Technical Areas are: 1) Feedstock Production through the development of crops and cropping systems relevant to production of raw materials for conversion to biobased fuels and biobased products. 2) Overcoming Recalcitrance of cellulosic biomass through developing technologies for converting cellulosic biomass into intermediates that can subsequently be converted into biobased fuels and biobased products. 3) Product Diversification through technologies relevant to production of a range of biobased products (including chemicals, animal feeds, and cogenerated power) that eventually can increase the feasibility of fuel production in a biorefinery. 4) Analysis that provides strategic guidance for the application of biomass technologies in accordance with realization of improved sustainability and environmental quality, cost effectiveness, security, and rural economic development, usually featuring system-wide approaches. 3. Application Process A two-phase technical evaluation process will be used for applications submitted under this Announcement. The first phase requires the applicant to submit a preliminary application (pre-application) which will be evaluated based on the four criteria discussed in section IV.B.2.ii. As a result of this preliminary review, each applicant will either be requested to submit a full application package or be removed from further consideration for funding under this Announcement. In either case, a letter of explanation will be provided to each applicant. The second evaluation phase will consist of a detailed review of all full application packages of those selected to submit for a full application, based on the technical merit criteria and other selection factors discussed in section Part V. 4. Funding Considerations Applications received under this Announcement will be considered independently for funding from DOE and USDA. However, successful applicants will not receive funding from both DOE and USDA for the same project. An applicant may submit multiple, unique applications for different topic areas, and thus receive funding from each agency. Due to funding availability, it is likely that awards by DOE will be limited to Technical Area 2. DOE and USDA may, however, select proposals for award from any of the Technical Areas. 5. Additional Background Complete text of the legislative authorities can be found at the following websites: 6
Biomass Research and Development Act of 2000 (Title III of the Agricultural Risk Protection Act of 2000, PL 106-224) http://www.bioproducts-bioenergy.gov/about/bio_act.asp Revisions to the Biomass Research and Development Act of 2000, as included in Title IX of the Farm Security and Rural Investment Act of 2002 (PL 107-171) http://www.nrcs.usda.gov/about/legislative/pdf/plaw107171.pdf Revisions to the Biomass Research and Development Act of 2000, as included in Section 941 of the Energy Policy Act of 2005 (PL 109-58) http://thomas.loc.gov/cgibin/bdquery/z?d109:hr00006: TOM:/bss/d109query.html Title II of the Healthy Forest Restoration Act of 2003 (PL 108-148) http://frwebgate.access.gpo.gov/cgibin/getdoc.cgi?dbname=108_cong_bills&docid=f:h1904enr.txt.pdf As an added resource, applicants may review the Roadmap for Biomass Technologies in the United States prepared by the Biomass Technical Advisory Committee. It can be found on the web at http://www.bioproducts-bioenergy.gov/pdfs/finalbiomassroadmap.pdf Appendix A of this document contains definitions of terms that are used in this Announcement. 7
PART II AWARD INFORMATION A. TYPE OF AWARD INSTRUMENT. DOE anticipates awarding both grants and cooperative agreements under this program announcement. If it is determined that a cooperative agreement is the appropriate award instrument, the nature of the Federal involvement will be included in a special award condition. USDA anticipates awarding grants under this program announcement. B. ESTIMATED FUNDING. Up to $ 2 million in DOE funding and $12 million in USDA funding is expected to be available for new awards under this announcement. C. MAXIMUM AND MINIMUM AWARD SIZE. Ceiling (i.e., the maximum amount for an individual award made under this announcement): $ 2 million Floor (i.e., the minimum amount for an individual award made under this announcement): $250,000 D. EXPECTED NUMBER OF AWARDS. DOE and USDA anticipate making a total of 10-20 awards under this announcement depending on the size of the awards. E. ANTICIPATED AWARD SIZE. The average award size for this program in FY 2004 was $1.1 million. DOE and USDA expect the average award size to be similar under this announcement. As directed in The Energy Policy Act of 2005 (P.S. 109-58, Section 941(e)), awards up to the amounts listed below will be made in each Technical Area (ref. I.2) 1. Feedstock Production: $2,800,000 2. Overcoming Recalcitrance of Cellulosic Biomass: $6,300,000 3. Product Diversification: $4,200,000 4. Analysis for Strategic Guidance: $700,000 F. PERIOD OF PERFORMANCE. DOE and USDA anticipate making awards that will run for up to 3 years. G. TYPE OF APPLICATION. DOE and USDA will accept only new applications under this Announcement. 8
PART III - ELIGIBILITY INFORMATION A. ELIGIBLE APPLICANTS. All entities listed under Section 307(f) of the Biomass Research and Development Act of 2000 (P.L. 106-224), as amended by The Energy Policy Act of 2005 (Section 941 of P.L. 109-58), are eligible to apply, except nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995. These include: 1. an institution of higher education (as defined in section 102(a) of the Higher Education Act of 1965 (20 U.S.C. 1002(a)) 2. a National Laboratory (as defined in Section 2 of the Energy Policy Act of 2005; P.L. 109-58); 3. a Federal research agency; 4. a State research agency; 5. a private sector entity; 6. a nonprofit organization; or 7. a consortium of 2 of more entities described in 1 through 6 above. Consortia are encouraged in order to bring important capabilities together to best achieve the desired innovation on biomass projects. Institutions of higher education include colleges and universities beyond the secondary education level. Private sector entities include companies, corporations, farms, ranches, cooperatives, and others that compete in the marketplace. B. COST SHARING As directed under Section 307(g)(4) of the Biomass Research and Development Act of 2000 (P.L. 106-224), as amended by Section 941 of The Energy Policy Act of 2005 (P.L. 109-58), the cost share must be at least 20% of the total allowable costs for research, development and demonstration projects and 50% of the total allowable costs for commercial application projects and must come from non-federal sources. The sum of the Government share, including FFRDC contractor costs if applicable, and the recipient share of allowable costs equals the total allowable cost of the project. (See 10 CFR part 600 for the applicable cost sharing requirements.) The term demonstration is defined in P.L. 109-58 as follows: The term demonstration means demonstration of technology in a pilot plant or semi-works scale facility. C. OTHER ELIGIBILITY REQUIREMENTS. Federally Funded Research and Development Center (FFRDC) Contractors. FFRDC applicants are eligible for an award under this announcement, or they may be proposed as a team member in both cases subject to the following guidelines: Authorization for non-doe/nnsa FFRDCs. The Federal agency sponsoring the FFRDC contractor must authorize in writing the participation of the FFRDC contractor in the proposed project and this authorization must be submitted with the application. The use of a FFRDC contractor must be consistent with the contractor s authority under its award. 9
Authorization for DOE/NNSA FFRDCs. The cognizant contracting officer for the FFRDC must authorize in writing the participation of a DOE/NNSA FFRDC contractor in the proposed project and this authorization must be submitted with the application. The following wording is acceptable for this authorization. Authorization is granted for the Laboratory to participate in the proposed project. The work proposed for the laboratory is consistent with or complimentary to the missions of the laboratory, will not adversely impact execution of the DOE/NNSA assigned programs at the laboratory. Value/Funding. The value of, and funding for, the FFRDC contractor portion of the work will not normally be included in the award to a successful applicant. Usually, DOE/NNSA will fund a DOE/NNSA FFRDC contractor through the DOE field work proposal system and other FFRDC contractors through an interagency agreement with the sponsoring agency. Cost Share. The applicant s cost share requirement will be based on the total cost of the project, including the applicant s and the FFRDC contractor s portions of the effort if any. If an FFRDC is the applicant, they are responsible for fulfilling the cost share requirement with non-federal funds. Responsibility. The applicant, if successful, will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to, disputes and claims arising out of any agreement between the applicant and the FFRDC contractor. 10
PART IV APPLICATION AND SUBMISSION INFORMATION A. ADDRESS TO REQUEST APPLICATION PACKAGE. Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov, select Apply for Grants, and then select Download Application Package. Enter the CFDA and/or the funding opportunity number located on the cover of this announcement and then follow the prompts to download the application package. NOTE: You will not be able to download the Application Package unless you have installed PureEdge Viewer (See: http://www.grants.gov/downloadviewer). B. LETTER OF INTENT AND PRE-APPLICATION. 1. Letter of Intent. Applicants are requested to submit a letter of intent by November 22, 2005. This letter should include the name of the applicant, the title of the project, the Technical Area to which the application will apply, the name of the Project Director/Principal Investigator(s), the amount of funds requested, and a one-page abstract. Letters of intent will be used to organize and expedite the merit review process. Failure to submit such letters will not negatively effect a responsive application submitted in a timely fashion. The letter of intent should be sent by E-mail to gobiomass@go.doe.gov. 2. Pre-application. Pre-applications are required. You must complete the SF 424, attach your preapplication file in the block provided, and submit electronically through Grants.gov at www.grants.gov. i. Pre-application Format The pre-application shall consist of a SF 424 Application for Federal Assistance form plus no more than three additional pages when printed single-sided. ONLY the SF-424 plus the three-page project summary, as described herein, are required for a preapplication the additional forms described under Section IV.C are only required if a full application is invited as a result of the pre-application review process (See Section IV.B.2.iii). You must complete the mandatory forms and any applicable optional forms in accordance with the instructions on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document Format (PDF) unless otherwise specified in this announcement. a) SF 424 - Application for Federal Assistance. Complete this form first to populate data in other forms. Complete all required fields in accordance with the pop-up instructions on the form. To activate the 11
instructions, turn on the Help Mode (Icon with the pointer and question mark at the top of the form). On the SF424 form, Applicants must complete Boxes 1, 2 and 5-18, checking Non-construction under Pre-Application section of Box 1. Applicants must also indicate in Box 11, Descriptive Title of Applicant s Project, the Technical Area to which the pre-application is directed. Technical Areas are listed in Section I.2 and described in more detail in Appendix C. b) Other Attachments Form Submit the following files with your pre-application and attach them to the Other Attachments Form. Click on Add Mandatory Other Attachment to attach the Project Narrative. Click on Add Optional Other Attachment, to attach the other files. Pre-application Narrative File - Mandatory Other Attachment The project narrative must not exceed 3 pages, including charts, graphs, maps, photographs, and other pictorial presentations, when printed using standard 8.5 by 11 paper with 1 inch margins (top, bottom, left, and right). EVALUATORS WILL REVIEW ONLY THE NUMBER OF PAGES SPECIFIED IN THE PRECEDING SENTENCE. The font must not be smaller than 11 point. Do not include any Internet addresses (URLs) that provide information necessary to review the application. See Part VIII.D for instructions on how to mark proprietary application information. Save the information in a single file named Project.pdf, and click on Add Mandatory Other Attachment to attach. The pre-application narrative should address the major aspects of the four technical evaluation criteria given below. The pre-application shall be organized into the following sections: 1. Technical Relevance and Merit 2. Technical Approach/Work Plan 3. Energy Efficiency/Displacement, Rural Economic Development, Environmental Benefits 4. Technical, Management, and Facility Capabilities Summary of Required Forms/Files Your application must include the following documents: Name of Document Format File Name Application for Federal Assistance SF424 Other Attachments Form: Attach the following files to this form: PureEdge Form PureEdge Form N/A N/A Pr-application Narrative File PDF Project.pdf 12
ii. Pre-Application Evaluation Criteria The following technical evaluation criteria will be used to evaluate pre-applications: Criterion 1: Technical Relevance and Merit Weight: 30 percent Criterion 2: Technical Approach/Work Plan Weight: 25 percent Criterion 3: Energy Efficiency/Displacement, Rural Economic Development, Environmental Benefits Weight: 25 percent Criterion 4: Technical, Management, and Facility Capabilities Weight: 20 percent More detailed descriptions of the technical merit criteria are given in Section V.A.2, and applicants are encouraged to read and understand the intent of each criterion before preparing their pre-application. It is the applicant s responsibility to address each criterion as fully as possible within the 3-page limit of the pre-application. iii. Pre-Application Selection Process DOE and USDA will jointly perform the technical evaluation of all pre-applications, based on the criteria listed above. As a result of this pre-application review, each applicant will either be requested to submit a full application package or be removed from consideration for funding under this Announcement. In either case, a letter of explanation will be provided to each applicant. C. CONTENT AND FORM OF FULL APPLICATION SF 424 Only applicants invited to submit a full application will be considered for an award. There is no commitment by DOE or USDA to fund a specific number of full applications. Applicants are encouraged to present projects that have substantial technical merit and that address the Technical Areas and meet the criteria identified above. Projects ranging from fundamental, innovative,and demonstration will all be considered. You must complete the mandatory forms and any applicable optional forms (e.g., SF-LLL- Disclosure of Lobbying Activities) in accordance with the instructions on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document Format (PDF) unless otherwise specified in this announcement. c) SF 424 - Application for Federal Assistance. Complete this form first to populate data in other forms. Complete all required fields in accordance with the pop-up instructions on the form. To activate the instructions, turn on the Help Mode (Icon with the pointer and question mark at the top of the form). 2. Other Attachments Form Submit the following files with your application and attach them to the Other Attachments Form. Click on Add Mandatory Other Attachment to attach the Project Narrative. Click on Add Optional Other Attachment, to attach the other files. 13
Project Narrative File - Mandatory Other Attachment The project narrative must not exceed 20 pages, including charts, graphs, maps, photographs, and other pictorial presentations, when printed using standard 8.5 by 11 paper with 1 inch margins (top, bottom, left, and right). EVALUATORS WILL REVIEW ONLY THE NUMBER OF PAGES SPECIFIED IN THE PRECEDING SENTENCE. The font must not be smaller than 11 point. Do not include any Internet addresses (URLs) that provide information necessary to review the application. See Part VIII.D for instructions on how to mark proprietary application information. Save the information in a single file named Project.pdf, and click on Add Mandatory Other Attachment to attach. The project narrative must include: Cover Page: Cover page should include the name and type of organization, the Funding Opportunity Announcement Number, the project title and Technical Area which the project addresses (Technical Areas are listed in Section Part I.2 above and described in more detail in Appendix E), and both the technical and business points of contact for the applicant, showing the names, titles, addresses, telephone and facsimile numbers, and electronic mail addresses. (Note this page does not count against the narrative s specified page limit) Table of Contents: Table of contents should include page numbers corresponding to the elements outlined in these guidelines. (Note the table of contents does not count against the narrative s specified page limit) Project Objectives. This section should provide a clear, concise statement of the specific objectives/aims of the proposed project. Merit Review Criterion Discussion. The section should be formatted to address each of the merit review criterion and sub-criterion listed in Section V. A. Provide sufficient information so that reviewers will be able to evaluate the application in accordance with these merit review criteria. DOE and USDA WILL EVALUATE AND CONSIDER ONLY THOSE APPLICATIONS THAT ADDRESS SEPARATELY EACH OF THE MERIT REVIEW CRITERION AND SUB-CRITERION. Relevance and Outcomes/Impacts. This section should explain the relevance of the effort to the objectives in the program announcement and the expected outcomes and/or impacts. Project Timetable: This section should outline as a function of time, year by year, all the important activities or phases of the project, including any activities planned beyond the project period. Successful applicants must use this project timetable to report progress. Evaluation Phase: This section must include a plan and metrics to be used to assess the success of the project. Project Summary/Abstract File The project summary/abstract must contain a summary of the proposed activity suitable for dissemination to the public. It should be a self-contained document that identifies the 14
name of the applicant, the project director/principal investigator(s), the project title, the objectives of the project, a description of the project, including methods to be employed, the potential impact of the project (i.e., benefits, outcomes), and major participants (for collaborative projects). This document must not include any proprietary or sensitive business information as the Department may make it available to the public. The project summary must not exceed 1 page when printed using standard 8.5 by 11 paper with 1 margins (top, bottom, left and right) with font not smaller than 11 point. Save this information in a file named Summary.pdf, and click on Add Optional Other Attachment to attach. SF 424 A Excel, Budget Information Non-Construction Programs File You must provide a separate budget for each year of support requested and a cumulative budget for the total project period. Use the SF 424 A Excel, Budget Information Non Construction Programs form on the Applicant and Recipient Page at http://grants.pr.doe.gov. You may request funds under any of the Object Class Categories as long as the item and amount are necessary to perform the proposed work, meet all the criteria for allowability under the applicable Federal cost principles, and are not prohibited by the funding restrictions in this announcement (See PART IV, G). Save the information in a single file named SF424A.xls, and click on Add Optional Other Attachment to attach. Budget Justification File (GO PF-20 Form) You must justify the costs proposed in each Object Class Category/Cost Classification category (e.g., identify key persons and personnel categories and the estimated costs for each person or category; provide a list of equipment and cost of each item; identify proposed subaward/consultant work and cost of each subaward/consultant; describe purpose of proposed travel, number of travelers and number of travel days; list general categories of supplies and amount for each category; and provide any other information you wish to support your budget). This information is provided herein by completion of the GO PF-20 form. Provide the name of your cognizant/oversight agency, if you have one, and the name and phone number of the individual responsible for negotiating your indirect rates. If cost sharing is required, provide an explanation of the source, nature, amount and availability of any proposed cost sharing. Save this information in a single file named Budget.pdf, and click on Add Optional Other Attachment to attach. Subaward Budget File(s) You must provide a separate budget (i.e., budget for each budget year and a cumulative budget) for each subawardee that is expected to perform work estimated to be more than $100,000 or 50 percent of the total work effort (which ever is less). Use the SF 424 A Excel for Non Construction Programs or the SF 424 C Excel for Construction Programs. These forms are found on the Applicant and Recipient Page at http://grants.pr.doe.gov. Save each Subaward budget in a separate file. Use up to 10 letters of the subawardee s name (plus.xls) as the file name (e.g., ucla.xls or energyres.xls), and click on Add Optional Other Attachment to attach. Subaward Budget Justification File(s) (GO PF-20 Form) For each subawardee that is expected to perform work estimated to be more than $100,000 or 50 percent of the total work effort (which ever is less), you must also justify the costs proposed in each Object Class Category/Cost Classification category (e.g., identify key persons and personnel categories and the estimated costs for each person or category; 15
provide a list of equipment and cost of each item; identify proposed subaward/consultant work and cost of each subaward/consultant; describe purpose of proposed travel, number of travelers and number of travel days; list general categories of supplies and amount for each category; and provide any other information you wish to support your budget). This information is provided herein by completion of the GO PF-20 form. Save each Subaward budget justification in a separate file. Use up to 10 letters of the subawardee s name and just (plus.doc) as the file name (e.g., uclajust.doc or energyresjust.doc), and click on Add Optional Other Attachment to attach. GO-PF19 Financial Assistance Pre-Award Information Sheet Applicants must complete a GO-PF19, Financial Assistance Pre-Award Information Sheet. Save the form as a pdf file, named GO-PF19.pdf Click here for GO-PF19 form. Certifications/Assurances for Use with SF 424 File You must complete and provide the Certifications and Assurances for Use with SF 424 form on the Applicant and Recipient Page at http://grants.pr.doe.gov. Submission of an electronic application through Grants.gov constitutes the submission of a signed document. Type the name of the person reponsible for providing the certifications and assurances in the signature block and save as a pdf file. Do not submit a scanned copy of the form. Name the file Certs.pdf, and click on Add Optional Other Attachment to attach. Commitment Letters from Third Parties Contributing to Cost Sharing If a third party, (i.e., a party other than the organization submitting the application) proposes to provide all or part of the required cost sharing, the applicant must include a letter from the third party stating that it is committed to providing a specific minimum dollar amount of cost sharing. The letter should also identify the proposed cost sharing (e.g., cash, services, and/or property) to be contributed. Letters must be signed by the person authorized to commit the expenditure of funds by the entity. Provide this information in a single file named CLTP.pdf and click on Add Optional Other Attachment to attach. The applicant must have firm funding commitment letters from third parties expected to contribute to cost sharing. At the time the application is submitted, the applicant must identify for each participant providing cost sharing: 1) the name of the organization; 2) the proposed dollar amount to be provided; 3) the amount as a percentage of the total project cost; and 4) the proposed cost sharing cash, services, or property. For projects with multiple cost sharing partners, summarize the information in a table format. Provide the information in a single file named CLTP and click on Add Optional Other Attachment to attach. By submission of the application, the applicant is providing assurance that it has signed letters of commitment. Successful applicants must submit the signed letters of commitments within the number of days specified in Part IV.D, Submissions from Successful Applicants. Biographical Sketch File Provide a biographical sketch for each key person proposed, including subawardees and consultants if they meet the definition of key person. A key person is any individual who contributes in a substantive, measurable way to the execution of the project. Save all 16
biographical sketches in a single file named bio.pdf and click on Add Optional Other Attachment to attach. The biographical information for each person must not exceed 2 pages when printed on 8.5 by 11 paper with 1 inch margins (top, bottom, left, and right) with font not smaller than 11 point and must include: Education and Training. Undergraduate, graduate and postdoctoral training, provide institution, major/area, degree and year. Professional Experience: Beginning with the current position list, in chronological order, professional/academic positions with a brief description. Publications. Provide a list of up to10 publications most closely related to the proposed project. For each publication, identify the names of all authors (in the same sequence in which they appear in the publication), the article title, book or journal title, volume number, page numbers, year of publication, and website address if available electronically. Patents, copyrights and software systems developed may be provided in addition to or substituted for publications. Synergistic Activities. List no more than 5 professional and scholarly activities related to the effort proposed. Budget for DOE/NNSA Federally Funded Research and Development Center (FFRDC) Contractor, if applicable. If a DOE/NNSA FFRDC contractor is to perform any portion of the work, you must provide a DOE Field Work Proposal in accordance with the requirements in DOE Order 412.1 Work Authorization System. This order and the DOE Field Work Proposal form are available at http://grants.pr.doe.gov. Use up to 10 letters of the FFRDC name (plus.pdf) as the file name (e.g., lanl.pdf or anl.pdf), and click on Add Attachments in Field 11 to attach. Authorization for Participation of a Federally Funded Research and Development Center (FFRDC) Contractor, if applicable. If a FFRDC contractor is to perform any portion of the work, you must provide an authorization letter as described in II.C. Provide the information in a single file named using up to 6 letters of the FFRDC name (plus auth.pdf e.g. anlauth.pdf, laslauth.pdf) and click on Add Optional Other Attachment to attach. 3. SF-LLL Disclosure of Lobbying Activities If applicable, complete SF- LLL. Applicability: If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the grant/cooperative agreement, you must complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying. 17
Summary of Required Forms/Files Your application must include the following documents: Name of Document Format File Name Application for Federal Assistance SF424 Other Attachments Form: Attach the following files to this form: PureEdge Form PureEdge Form N/A N/A Project Narrative File PDF Project.pdf Project Summary/Abstract File PDF Summary.pdf SF 424A File - Budget Information for Non-Construction Programs SF424A.xls Budget Narrative File PDF Budget.pdf Subaward Budget File(s) Excel See Instructions Certifications/Assurances File PDF Certs.pdf Commitment Letters from Third Parties Contributing to Cost Sharing File, if applicable. PDF CLTP.pdf Biographical Sketch File PDF Bio.pdf Budget for FFRDC Contractor, if applicable Authorization for Participation of a FFRDC Contractor, if applicable SF-LLL Disclosure of Lobbying Activities, if applicable. PDF PDF PureEdge Form Name.pdf Nameauth.pdf N/A D. SUBMISSIONS FROM SUCCESSFUL APPLICANTS. The Department anticipates that no additional submissions will be required. However, it reserves the right to request additional or clarifying information for any reason deemed necessary. 18
E. SUBMISSION DATES AND TIMES. 1. Pre-application Due Date. Pre-applications must be received by December 20, 2005, not later than 8:00 PM Eastern Time. 2. Full Application Due Date. (by invitation only) Only those applicants selected from the pre-application stage will be considered. Applications must be received by March 22, 2005, not later than 8:00 PM Eastern Time. You are encouraged to transmit your application well before the deadline. APPLICATIONS RECEIVED AFTER THE DEADLINE WILL NOT BE REVIEWED OR CONSIDERED FOR AWARD. F. INTERGOVERNMENTAL REVIEW This program is not subject to Executive Order 12372 Intergovernmental Review of Federal Programs. G. FUNDING RESTRICTIONS. Cost Principles. Costs must be allowable in accordance with the applicable Federal cost principles referenced in 10 CFR part 600. Pre-award Costs. Recipients may charge to an award resulting from this announcement pre-award costs that were incurred within the ninety (90) calendar day period immediately preceding the effective date of the award, if the costs are allowable in accordance with the applicable Federal cost principles referenced in 10 CFR part 600. Recipients must obtain the prior approval of the contracting officer for any pre-award costs that are for periods greater than this 90 day calendar period. Pre-award costs are incurred at the recipient s risk. DOE is under no obligation to reimburse such costs if for any reason the applicant does not receive an award or if the award is made for a lesser amount than the applicant expected. H. OTHER SUBMISSION AND REGISTRATION REQUIREMENTS 1. Where to Submit. APPLICATIONS MUST BE SUBMITTED THROUGH GRANTS.GOV TO BE CONSIDERED FOR AWARD. Submit electronic applications through the Apply for Grants function at www.grants.gov. If you have problems completing the registration process or submitting your application, call Grants.gov at 1-800-518-4726 or send an email to support@grants.gov. 2. Registration Process. You must COMPLETE the one-time registration process (all steps) before you can submit your first application through Grants.gov (See www.grants.gov/getstarted). We 19
recommend that you start this process at least two weeks before the application due date. It may take 14 days or more to complete the entire process. Use the Grants.gov Organizational Registration Checklists at http://www.grants.gov/assets/organizationregcheck.doc to guide you through the process. IMPORTANT: During the CCR registration process, you will be asked to designate an E-Business Point of Contact (EBIZ POC). The EBIZ POC must obtain a special password called Marketing Partner identification Number (MPIN). 20
PART V - APPLICATION REVIEW INFORMATION A. CRITERIA 1. Initial Review Criteria. Prior to a comprehensive merit evaluation, DOE will perform an initial review to determine that (1) the applicant is eligible for an award and meets the minimum cost share requirements; (2) the information required by the announcement has been submitted; (3) all mandatory requirements are satisfied; and (4) the proposed project is responsive to the objectives of the funding opportunity announcement. 2. Merit Review Criteria. The following criteria will be used to evaluate applications. Weight percentages for each area are as follows: Criterion Weight 1: Technical Relevance and Merit 30 2: Technical Approach/Work Plan 25 3: Energy Efficiency/ Displacement, Rural Economic Development, Environmental Benefits 25 4: Technical Management and Facility Capabilities 20 Applications will be reviewed in accordance with the following criteria: All timely applications that fulfill the minimum application requirements, as determined by the compliance review (described in the previous paragraph) will be eligible for comprehensive evaluation and will undergo the following evaluations by DOE and USDA. The first evaluation includes a joint technical merit review using a scientific peer review process. During the technical merit review, each application will be rated with a numerical score using the following technical rating criteria: Criterion 1: Technical Relevance and Merit Weight: 30 percent The technical merit of the application will be evaluated based on the extent to which the project, if successfully carried out, will address research, development, and demonstration activities for the biomass Technical Topic Areas as described in this Announcement. Specific considerations for this criterion are: Clarity and relevance of the project objectives. Novelty, innovation, uniqueness, and originality of the project objectives. Technical merit of the proposed research, development, or demonstration. Extent to which the proposed work will demonstrate the current state of knowledge and/or technology. Extent to which the proposed work will complement or advance the current knowledge or technology for the stated objectives. 21
Criterion 2: Technical Approach/Work Plan Weight: 25 percent The technical approach will be evaluated based on the clarity and technical strength of the approach to achieve the project objectives, including the plan for each task and subtask, milestones and deliverables. Specific considerations for this criterion are: Technical feasibility of the proposed work. Adequacy and completeness of the proposed tasks. Clarity and completeness of the description of each activity necessary to complete the project. Likelihood of achieving project objectives through realistic milestones and logical task structure. Reasonableness of the schedule. Performance measures and milestones for evaluating progress with regard to key subtasks and/or deliverables. Identification and appropriateness of key decision points for mitigating potential problems. Process for monitoring and evaluating the project s progress and performance. Criterion 3: Energy Efficiency/Displacement, Rural Economic Development, Environmental Benefits Weight: 25 percent The overall projected benefits will be evaluated in terms of: improvements in energy efficiency and economics of the biomass technology, oil displacement, rural economic development, and environmental benefits. Specific considerations for this criterion are: Estimated benefits in comparison to existing technology or system (e.g., crude oil displacement or energy efficiency gains in product production). Comparison of the cost to produce the targeted product(s), fuel(s), and power, versus existing best commercial technology. Anticipated energy and/or economic benefits, including those related to enterprise and community self-sufficiency, rural economic development, job creation, and reduction in imports. Potential for the proposed work to provide sufficient benefits in terms of cost reduction, risk reduction, or performance improvement to justify the cost of the system being investigated. Potential for near-term implementation of the proposed system or technology. Incorporation of activities and technologies that are protective of the environment. Extent to which public safety, environmental concerns, and land sustainability issues in rural areas are addressed. Criterion 4: Technical, Management, and Facility Capabilities Weight: 20 percent Technical and management qualifications of all participating organizations and key personnel, including subcontractors and consultants, will be evaluated with respect to their ability to carry out the proposed effort. The adequacy and appropriateness of the facilities planned for this work will also be considered. Specific considerations for this criterion are: Credentials, capabilities, experience (technical and managerial), performance record, and availability of the applicant and participants to comprehensively address all aspects of the proposed project. 22
Soundness of the project management concept with respect to proposed tasks and organizational structure to achieve project objectives. Type, quality, availability, and appropriateness of facilities, equipment, and materials utilized to carry out the proposed work. Level of participation by project participants as evidenced by letter(s) of commitment. Extent of beneficial collaboration across industry and academia. Current or recent government contracts, grants, cooperative agreements, or other work by the applicant and/or participants in this or related fields. The maximum score for all of the above technical rating criteria is 100 points. 3. Other Selection Factors. There will be an independent program policy factor review conducted by DOE Headquarters (HQ) and USDA under their respective Topic Areas for consideration by the Selection Official. For all Applications, the program policy factors will include the extent to which the proposed activity: creates continuously expanding opportunities for participants in existing biofuels production by seeking synergies and continuity with current technologies and practices, such as the use of dried distillers grains as a bridge feedstock; maximizes the environmental, economic, and social benefits of production of biobased fuels and biobased products on a large scale through life-cycle economic and environmental analysis and other means; and assesses the potential of Federal land and land management programs as feedstock resources for biobased fuels and biobased products, consistent with the integrity of soil and water resources and with other environmental considerations; involves a consortia of experts from multiple institutions; encourages the integration of disciplines and application of the best technical resources; and increases the geographic diversity of demonstration projects. For proposals selected for award by DOE, additional program policy factors will include: Relevance to the specific DOE barriers and pathways as outlined in the Program Multi-year Program Plan: (http://www.eere.energy.gov/biomass/pdfs/multiyear_plan2004.pdf). Balance of the overall portfolio of DOE investments in biomass research and development. Level of cost sharing above the minimum requirement. For proposals selected for award by USDA, additional program policy factors will include giving precedence to applications: Emphasizing near-term implementation and application to commercially viable 23
biomass production, management, handling, processing, and manufacturing. Involving consortia that include Tribal entities. Addressing methods for biomass production, harvesting, handling, and utilization that are environmentally beneficial and cost effective. Exhibiting mobility and adaptability of economically viable and relatively smallscale biomass utilization technology. Improving rural-based processing and manufacturing of biobased products and power from biomass, including those that demonstrate the potential to stimulate revenue streams and economic improvement in rural areas. Developing, diversifying, and expanding renewable biomass products systems, leading to improved self-sufficiency for rural constituencies, including farmers, ranchers, rural communities and institutions, tribes, local governments, and businesses. B. REVIEW AND SELECTION PROCESS. 1. Merit Review. Applications that pass the initial review will be subjected to a merit review in accordance with the guidance provided in the Department of Energy Merit Review Guide for Financial Assistance and Unsolicited Proposals. This guide is available under Financial Assistance, Regulations and Guidance at http://professionals.pr.doe.gov/ma5/ma- 5web.nsf/?Open. 2. Selection. The Selection Official will consider the merit review recommendation, program policy factors, and the amount of funds available. 3. Discussions and Award. The Government may enter into discussions with a selected applicant for any reason deemed necessary, including but not limited to: (1) the budget is not appropriate or reasonable for the requirement; (2) only a portion of the application is selected for award; (3) the Government needs additional information to determine that the recipient is capable of complying with the requirements in 10 CFR part 600; and/or (4) special terms and conditions are required. Failure to resolve satisfactorily the issues identified by the Government will preclude award to the applicant. C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES. DOE and USDA anticipate notifying applicants selected for negotiation of award by May 19, 2006. Awards will be made no later than September 20, 2006. 24